ComplianceOfficer

## Description We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team. As part of Capital.com's expansion into the Japanese market, you will build and run the compliance framework for our Type I Financial Instruments Business from its foundations. The role covers the full scope of compliance — from drafting internal rules and dealing with the regulator and self-regulatory organizations, to AML/CFT operations and trade surveillance — making you central to the credibility of our Japan operation. Because we are in the launch phase, you will have unusual latitude to design an internal control framework that meets Japanese regulatory requirements from the ground up, working closely with our global compliance team. ## Responsibilities • Develop and maintain the compliance policy framework and internal control rules for the Type I Financial Instruments Business. • Handle filings, reports, and inspections involving the regulators (Financial Services Agency and Local Finance Bureau) and self-regulatory organizations (Japan Securities Dealers Association, The Financial Futures Association of Japan, The Commodity Futures Association of Japan, and Japan Virtual and Crypto assets Exchange Association).• Build the customer due diligence (CDD/EDD) framework, run transaction monitoring, and file suspicious transaction reports. • Conduct trade surveillance for insider trading and other unfair trading practices, and plan and deliver internal compliance training. • Review advertising and sales materials for conformity with the Financial Instruments and Exchange Act and advertising regulations. • Build and operate the account-opening review and customer management framework. • Establish the framework for handli